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Expanded Compact
Number Name Status Rule Category Regulated Entity
Rule G-5 Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations Professional Qualification Dealers, Municipal Advisors, Bank Dealers
Rule G-32 Disclosures In Connection With Primary Offerings Market Transparency Dealers, Bank Dealers, Municipal Fund Securities
Rule G-5
Last Updated: 12/22/2010
Disciplinary Actions by Appropriate Regulatory Agencies; Remedial Notices by Registered Securities Associations

Rule Summary: Prohibits dealers and municipal advisors from effecting transactions in municipal securities or engaging in municipal advisory activities in violation of restrictions imposed by other regulatory bodies.

Rule for:

Dealers, Municipal Advisors, Bank Dealers

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Rule G-32
Last Updated: 02/22/2021
Disclosures In Connection With Primary Offerings

Rule Summary: Requires underwriters to submit certain information to the Electronic Municipal Market Access (EMMA®) system and dealers to provide certain information to customers in connection with primary offerings.

Rule for:

Dealers, Bank Dealers, Municipal Fund Securities

Status:
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Request for Comment
Concept Release: MSRB Requests Comment on Potential Modernization of Municipal Fund Securities Disclosure Obligations
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